Mapping Archives Essential for Dealing 02/2017 with the Past Processes Trudy Huskamp Peterson Elisabeth Baumgartner

With financial support of Truth & Dignity Commission Imprint Table of Contents

Publisher 1 Objective and Range of the Mapping 2 This swisspeace publication is financed by the Swiss 2 Planning and Strategy 4 Federal Department of Foreign Affairs’ (FDFA) mandate “Archives and Dealing with the Past Project”. The views 3 Authorizations 7 and opinions expressed in this article are those of ­ 4 Staff Requirements 9 the authors and do not necessarily reflect the official policy or position of the FDFA. The original text by 5 Scope and Content of Mapping 11 Trudy Huskamp Peterson was complemented during an 6 Work Plan 12 archival mapping that the Tunisian Truth and Dignity Commission (Instance Vérité et Dignité – IVD) carried out 7 Mapping 13 together with swisspeace. The IVD was established in 8 Monitoring 24 December 2013 through the Transitional Justice Law with the mission to facilitate the transition to democracy 9 Compilation of Results 25 and rule of law by revealing the truth about past human About the Authors 26 rights violations, determining the State’s responsibility in these violations, redressing victims, and preserving About swisspeace 27 their memory to contribute to national reconciliation. About the project Essential series “Archives and Dealing with the Past” 28 With its Essential series, swisspeace offers expert Annexes 29 advice and guidance for practitioners on various topics in civilian peacebuilding. A full publication list can be found on www.swisspeace.org/publications

Cover picture The IVD Archives mapping team. Copyright IVD.

Partners swisspeace is an associated Institute of the University of Basel and member of the Swiss Academy of Human- ities and Social Sciences (SAHS). swisspeace Sonnenbergstrasse 17 P.O. Box, 3001 Bern Bernoullistrasse 14/16 4056 Basel Switzerland www.swisspeace.org [email protected] © 2017 swisspeace 1 Objective and Range Objective and Range of the Mapping of the Mapping

1 In this Essential we refer to Understanding what archives are available for use in a Archival mapping may help identify archives to be ‘dealing with the past’ rather transitional justice or dealing with the past process1 is copied and collected by the dealing with the past than transitional justice in order to emphasize the long- an essential first step in assembling evidence and mechanism. It may also identify archives that should be term nature of the process, material to be used by truth commissions, fact-finding transferred to the national archives or to the archives the judicial and non-judicial bodies, tribunals and other mechanisms that help a that is the designated permanent home for those elements of a reckoning with past violence, and to society cope with a past troubled by violence, dicta- records. allow for the possibility that torship and armed conflict. Thus, a mapping or surveying such a process will not be a linear transition from ‘A’ to project is often useful to provide an overview of the In addition to the specific aims of identification, ‘B’ but rather an ongoing and existing archives that contain information relevant for location and description of records relevant for a dealing complicated set of negotiations the respective dealing with the past process. with the past mechanism or process, mapping may also and dialogues between many different actors. However, the facilitate awareness regarding the importance of dealing terminology of ‘transitional The present Essential on Mapping Archives for with the past among the contacts in various public and justice’ is prolific in the literature Dealing with the Past Processes provides an outline of private institutions. and practice of this field and thus many of the sources we the steps required to plan and execute an archival cite here will also use this mapping (also referred to as “survey”) project and, in the All of these goals can be included in a survey, but for vocabulary. annexes, sample forms, and guidelines. planning purposes, it is important to know which should receive priority, especially if the project begins to run out Before beginning an archives mapping process of time or money. The Truth and Dignity Commission in within a dealing with the past process, it is important to Tunisia focused on government archives located in Tunis clarify the aim and the objectives of the exercise. and some specific regional government structures (e.g., Generally, archives mapping aims to determine the police stations, prisons). following: →→ what archives exist that are of interest to the dealing with the past mechanism (or mechanisms, depending on the context); →→ where they are located; →→ what information they contain; →→ to whom the archives are accessible and who controls access.

In addition, a mapping project can also help to identify records that must be secured immediately and what measures must be taken in order to do so, e.g. preser- vation measures or, in the case of state archives, the seizure by a tribunal to prevent destruction of the records. In the process, by providing evidence that the archives do exist, the survey may offer some informal protection against destruction, even if a formal process 2 is not (or not yet) undertaken. 3 2 Planning and Strategy Planning and Strategy

Archival mapping is a systematic procedure to gather However, the more ambitious the parameters of the information about archives (state or non-state) that are mapping are, the more time and resources will be not in either the custody of the national archives or a required. Since dealing with the past mechanisms dealing with the past mechanism that wishes to use usually work under severe time pressure, it is important them (e.g., a truth commission or a tribunal). While such at the outset to define the institutions to be surveyed mapping can be carried out to locate important bodies within the specific focus of the mechanism. of personal materials (for example, diaries or photo- graphs), the more usual survey for dealing with the past It is also important to understand that each context purposes focuses on either government institutions or is different and that, therefore, the possibilities of non-governmental organizations (NGOs). contacting the authorities and private actors and access­- ing their records vary from country to country. In a first step, the framework of the mapping needs to be defined. A dealing with the past mechanism Moreover, considering that records relevant for usually has a clearly defined mandate with regard to dealing with the past mechanisms usually address content and temporal and geographical limits. human rights violations, violations of International Hu­- manitarian Law (IHL), financial corruption and/or election fraud, mapping may become a sensitive task In Tunisia, the Organic Law on Establishing and Orga­ and some institutions and organizations might not want nizing Transitional Justice limits the mandate of the Truth to share information with the dealing with the past and Dignity Commission to the period extending from mechanism. In this case, it may be important to consider 1 July 1955 until 2013 (Article 17). Truth seeking is focused an informal outreach to key actors of those institutions on “gross or systematic infringement of any human right in order to verify the accuracy or completeness of the committed by the State’s apparatuses or by groups or information obtained during the mapping. individuals who acted in State’s name or under its pro­- tection, even if they do not have the capacity or authority The quality of archives and the importance given to to do so […] [or] by organized groups” (Article 3). them also vary depending on archival traditions, a tendency to either written or oral cultures, archival leg­- islation, the competences and powers attributed to the It is important to define the institutions that will be state archives, in particular to the national archives, and mapped and limit the scope of the mapping according to the importance given to records management and the mandate, time frame and focus of the dealing with archives in general. the past mechanism. An archival mapping may focus on either all archives of a single government agency (for example, all records of the police), all archives related to a specific issue (e.g., human rights violations, violations of International humanitarian law, corruption) in any agency or organization, records of human rights organi- zations and other civil society actors, or all archives in a specific region (for example, all archives in the capital).

4 5 Planning and Strategy 3 Authorizations

Ideally, the mapping will be a cooperative project Tunisia has a long tradition of public records and archives between the dealing with the past mechanism dating back to the period before the establishment of sponsoring the project (e.g., a truth commission, a the French Protectorate and the establishment of an tribunal, a missing persons commission) and the administrative system with the creation of the State institution to be surveyed (e.g., police archives, NGO Correspondence Centre (Centre des correspondences de archives). The initial approach to the institution to be l’Etat) in 1874. Tunisia can therefore be considered as a surveyed must be carefully planned. pioneer in this field. In 1883 the “Centre des corre­ spondences de l’Etat” became known as “Les Archives A personal meeting is essential, which in most cases générales du gouvernement” (State General Archives).2 should be preceded by a written introduction (depen­- Due to this long archives tradition, the Tunisian National ding on the situation, this could be a formal letter or an Archives is well established. State records are organised e-mail message) addressed to the senior management and archives preserved according to the Tunisian level in charge of the archives (e.g., the ministry of Archives Law from 1988.3 justice, interior, the headquarters of a trade union, the country office of an NGO). The message should explain 2 See historical overview on the the aim and the framework of the mapping project. It website of the National Archives should ask for support of the technical aspect of of Tunisia: www.archives.nat.tn mapping and for the name of the responsible person/ 3 La loi n° 88–95 du 2 août 1988 relative aux archives archivist with whom the mapping team will work. http://www.legislation.tn/ sites/default/files/journal- If a first personal meeting fails to elicit cooperation, officiel/1988/1988F/Jo05288.pdf the dealing with the past mechanism must seek per­mis­ ­sion for access elsewhere, such as through appoint­ ­ment by a court as a special master, a mandate from the relevant ministry or from the executive, or an action by the legislature. However, if the dealing with the past mechanism is concerned that a demand of access may accelerate the destruction of key archives, it may be necessary to appeal to the judiciary first to get an injunc- ­­ tion to prevent destruction.

In contexts where a legal basis guarantees access to archives for the dealing with the past mechanism, gaining access to the archives is easier.

6 7 Authorizations 4 Staff Requirements

A successful mapping project requires sufficient per­- 4 As a basic manual on records In Tunisia, archival cooperation with the Truth and Dignity sonnel. Ideally, the project will involve both staff surveys says, “Qualifications for a director will vary with Commission (IVD) is provided for in article 40(1) Organic members of the institution responsible for the mapping the size and complexity of Law on Establishing and Organizing Transitional Justice, (e.g., a truth commission) and of the organization/ the project but must include which says that the Commission shall “[h]ave access to institution whose records are being mapped. If the knowledge of archival principles and procedures, appropriate public and private archives, regardless of all restrictions survey is covering government records, it is desirable to archives or records experience, contained in the applicable legislation.” Nevertheless, have staff members from the national archives on the tact, patience with detail, and the ability to see work careful planning was required to carry out the mapping team. If, however, the national archives is unwilling or through to a conclusion.” See: and to contact the relevant institutions and unable to be involved, another source of staff members John Fleckner, Archives & organizations. must be identified. Manuscripts: Surveys. Chicago: Society of American Archivists, 1977, p. 6. Additional staff could be hired for the purpose by In the course of the initial discussion with the institution the institution responsible for the mapping. A team that holds custody of the archives, the objectives and composed of persons who have a professional back­- scope of the mapping must be stated clearly. A visit to ground in archives, documentation or records man-­­ the locations where the records are stored is also agement is preferred. The team could include university desirable. students enrolled in archival or documentation studies; however, surveys can also be undertaken with persons After the meeting, the agreed goals and scope must who are committed to the project but have no particular be committed to writing, such as in a memorandum of background in archival work, as long as competent understanding. Because it is possible that at some point archival supervision is supplied. If the persons doing the during the mapping someone at the institution being mapping are not from the institution being mapped, surveyed will challenge the surveyor’s authority to see a the national archives, or the transitional justice insti- part of the archives, it is essential to have a clear, written tution, confidentiality issues must be explained agreement that the surveyor can indeed have access carefully and non-disclosure agreements signed. In any to the archive (or at least to finding aids, accession lists, case, it is essential that the team members receive etc.). thorough training in order to collect accurate and consistent information.

To guarantee smooth progress and consistent results from the mapping, a project coordinator needs to be selected, preferably someone with at least basic archival training. If neither the national archives nor the dealing with the past mechanism itself is providing the project coordinator, it may be possible to identify someone either from a school that teaches archives, from another archival institution, or from a consulting firm that provides information management services.4

8 9 Staff Requirements 5 Scope and Content of Mapping

While the information to be obtained varies by the type 5 During the training for the In the case of the IVD in Tunisia, the staff of the archives of institution surveyed and the purpose of the mapping, persons who will carry out the mapping, it is important to unit that was created as an operational unit within the two types of basic information must be collected in emphasize what is not to be commission right at the beginning of the existence of the every case: information about the institution that holds included, such as stocks of commission (direction de la documentation et des the archives (the context) and information about the duplicate printed materials or truly personal materials. archives) trained the technical team of the archives archives themselves (the content). How detailed the mapping. The director of archives and documentation of survey will be depends on the time and money available. the IVD managed and oversaw the project. The technical Examples of survey forms and survey instructions are team consisted of different specialists, including a found as annexes I a and b (for context information historian, an archivist, an information officer and a about the institution surveyed) and II a and b (for context librarian. All team members received training in dealing information about series of archives). with the past and electronic information management and were trained to gather accurate and consistent The mapping should cover all records – active and information. inactive, in office areas and in basements and attics and outbuildings, in paper and electronic and audio-visual formats. Archivists usually look for series – that is, a body The dealing with the past staff may include a technical of archives arranged in accordance with a filing system expert who can provide the information management or maintained as a unit because they result from the support for the mapping. Alternatively, an expert can be same accumulation or filing process, or the same activ­- hired to write a software that can be used to compile ity; have a particular form (for example, all sound and retrieve information obtained from the mapping. recordings, all bound volumes of photographs); or be­­- This person should join the team early in the project to cause of some other relationship arising out of their ensure that the software supports the data collection creation, receipt, or use. However, if the records are in and the ultimate use of the information gathered. disarrangement, only the most general and summary description might be possible.5 It may be helpful to have an advisory board, in- cluding stakeholders from the dealing with the past mechanism, the national archives, and the institutions/ organizations to be surveyed. A board can both give legitimacy to the project and help facilitate access to the archives to be surveyed. An advisory board can also be used to generate public support for the survey and to help disseminate information to the public; it can also help the dealing with the past mechanism decide what of the survey results can be published and what should remain confidential for the present.

10 11 6 Work Plan 7 Mapping

It is helpful to start the mapping project with a pilot 7.1 Understanding the Institution mapping project, then adjust the mapping tools based on what is learned in this phase. Some projects subse- It is essential that the mapping team members under- quently select a few institutions to focus on in a second stand the history and functions of the institution to be step. Pilot projects are particularly important if organi- mapped. Ideally, a public history of the institution zations in different geographic areas are included in the already exists. This could either be a self-published mapping, as conditions may vary between headquarters report (see, for example, the synopsis of the history of and field operations, for example, and a pilot project the Armed Forces of the Philippines) or reports/liter- covering some offices in both locations will bring the ature published by a third party (secondary literature). If differences to the surface. no public report is available, the mapping project must develop one based on public resources and, if possible, The work plan should explain the strategy for com-­­­­ on interviews of the employees or former employees of p­­leting the mapping and include locations, times, and the the institution/organization. The report should include: responsibilities within the team. Additionally, it should →→ a brief chronology of the institution; include the method of compiling the results, as well as state who will have access to the results (including when →→ an organizational chart (or multiple charts showing the public will be given the information), and who ulti­- how the institution changed over the years); mately will be responsible for maintaining the information →→ a list of the functions of the institution (including gathe­­­red (for government archives, the national archives those entrusted to it by law and de facto functions may be the permanent location for the survey information). that might not be enshrined in a legal basis); The work plan should also address the financing →→ if the institution uses very technical language: a list required by the project. This includes salaries, office of key terms that are likely to be encountered (e.g., space, vehicles or other travel costs (e.g., airfare to military terminology required in order to understand regions for training and accommodation for staff mem­­- the documents of the armed forces). bers), as well as equipment (including computers and scanners) and supplies. If the mapping is to be con­­ducted The example of the Armed Forces of the Philippines in more than one geographic area, the project must decide shows that the structure of an institution may change whether it will send a team from place to place, which significantly over time. Since these changes affect the will take longer but will ensure consistency of results, or manner in which incidents are documented and archives whether it will engage teams in each of the geographic created, it is essential to understand the changes and areas. If one team is to move, it will require transportation, report the chronology in the mapping. A series of housing and per diem. If teams are created in various historical events led to the structure of today that is areas, the project director(s) will have to make visits, reflected in the organisation chart available online at which will also require funding. www.afp.mil.ph. The following chronology is therefore an important part of an archives mapping: While some funds for executing the survey may be covered by the institution conducting the survey, other funds may have to be obtained from external donors or, particularly in the case of a mapping of government 12 records, from a special allocation by the government. 13 Mapping Mapping

Example: The Armed Forces of the Philippines 1986: fall of President Marcos in the “revolution of the people” (EDSA People Revolution) with the support of a Timeline: faction of FAP led by Defense Minister Juan Ponce Enrile 1935: Formation of the Armed Forces of the Philippines and General Fidel V. Ramos; inauguration of Corazon (AFP) under the National Defence Act; on request of the Aquino as new president of the Philippines; government: formation and supervision of the AFP by 1989: attempted coup against Aquino is repressed with General Douglas MacArthur of the United States; help of the United States. Continuation of the struggle 1938: formation of the “Philippine Constabulary” (police) against the rebels in the south (Mindanao); in the AFP; 1991: elimination of the Philippine Constabulary and 1940: formation of the naval / marine forces (navy) and integration in the Philippine National Police (NP); reorganization of the air forces (air force, formerly 2000: start of the “total war” against the MNLF under Philippine Constabulary Air Corps); President Joseph Estrada; 1941: start of the Pacific War, Japanese invasion of the 2001: Estrada removed from power during Philippines; incorporation of the majority of the soldiers demonstrations of the population and vice president of the Philippine Army in the Army of the United States Gloria Macapagal-Arroyo appointed as president. (U.S. Army Forces Far East – USAFFE); 1941–1945: fighting of the guerrilla units against Japanese troops continued; 1946: Philippine Independence following the defeat of Japan in World War II; 1947: formation of the modern AFP; 1951–1953: Commitment of the AFP in the Korean War and struggles against internal rebellions Hukbalahap, Central Luzon, Southern Tagalog, Visayan; 1972–1986: military regime under President Ferdinand Marcos with gross human rights violations (murder, arrests, torture of political opponents). Marcos was commander in chief of the AFP; war against “Moro National Liberation Front (MNLF)” on the Bangsamoro / Mindanao against the “New People’s Army” communist;

14 15 Mapping Mapping

7.2 Preparing the Forms For the ISAD(G) form, the project team needs to determine which of the elements of the survey form Two separate forms are used for mapping. One, based on must be filled out for every body of archives and which the International Standard for Describing Institutions are optional (both forms in the annexes indicate a with Archival Holdings (ISDIAH), identifies the institution, suggested set of required elements). The electronic its constituent parts, and basic information required to template for the form should require the completion of use the archives. The second, based on the International those elements before the form is forwarded to the Standard for Archival Description (General) (ISAD(G)), central project team for review. The electronic form reports the contents and volume of the records. A simple should also have some “check boxes” or pull-down mapping project may obtain only the ISDIAH information, elements for common types of information (these are while a more thorough and useful mapping will use both. also suggested on the forms in the annexes I and II) as The mapping team may decide that specific information well as a few items that will be standard from one form on the contents should be included, depending on the to another and can be embedded in the electronic requirements and mandate of the dealing with the past version. mechanism that is initiating the mapping. It might include a quite bold question asking about the existence 7.3 Training of Staff of archives containing information on violations of human rights, financial corruption and electoral fraud. When the elements of the forms to be used have been (See both forms and guidance for using them in dealing determined and the database format is ready for use, a with the past surveys in Annexes I). thorough training session for all those involved in the mapping project is essential. If separate teams work in different geographical areas, financial considerations In Tunisia, the IVD mapping focused on bodies of archives may require the project to bring together only the that it believed would contain information about specific leaders of the geographic teams, train them, and have violations of human rights, financial corruption, em­­­­ them train their own team members. It is essential that bezzlement and electoral fraud, since these issues were at least the leaders of the teams come together to of interest to the mandate of the IVD. discuss all the elements of the project to create a common spirit of cooperation. In this case, the training In addition, a database must be prepared in order to session will include two parts: an introduction to the manage the information gathered in forms and inter- basics of mapping and a training of team leaders on the views. Ideally, the database mirrors the questions in the administrative requirements of the project (reporting, questionnaire. finances, personnel issues, etc.).

Certain elements of the ISDIAH form may be obtained by Tools for training can vary. Paper manuals are a time- the project team during preparatory research and can be tested way to provide guidance for completing a survey. entered prior to the initial visit, such as the history of A project can develop a training video, which can be the institution, the address of its offices, and so forth. shown in various location (including to the staff members This will save time during the visit and will allow the team of the institution being surveyed and possibly to mem­­­- to verify information on site with the archives’ staff. bers of the public), can be put on line or distributed to be used on laptops; this will be helpful in reinforcing the 16 17 Mapping Mapping

central points to be covered. A tutorial embedded in 7.6 Interviews computers used by the surveyors can answer questions that arise without necessitating contacts with the a) Preparing the Interview project’s director. →→ Complete Internet research with available documents 7.4 Equipment and Supplies →→ Conduct a preliminary interview with a person who The persons who are doing the mapping will receive has a good understanding of the institution simple supplies, which could be distributed during the →→ Enter on the mapping form the preliminary infor- training. Laptops and tablets are ideal for recording mation obtained information, which can be sent electronically to the cen-­­­ tral project direction. However, in some working condi- →→ Highlight questions to ask tions it is easier to use paper survey forms on a clipboard. →→ Schedule a meeting with the designated contact, Other useful supplies are a flashlight and a measuring carefully explaining the idea and the aim of mapping tape (in the absence of a measuring device, it is helpful and how to proceed to know the length of the most common paper currency in circulation and use that to measure archives). If the →→ Choose an adequate team for the visit (in the records are extremely dusty or dirty, consider using beginning have two team members, including one masks covering the nose and mouth, simple brushes who subsequently will survey the records (such as those used to brush a baby’s hair), and thin cotton gloves. Prudent surveyors will also take along a b) Conducting the Interview few bands-aids for the inevitable paper cuts, strong insect repellent and a camera to take photographs. →→ Introduce the team 7.5 Contact with Organizations / Institutions to Map →→ Present the mapping: the aim, the importance , the desired result, its use in the next steps, the infor- As outlined before, the dealing with the past mechanism mation interesting to the mandate of the dealing with initiating the mapping has made a formal contact with the past mechanism the institutions whose archives are to be mapped and has →→ Explain in detail what documents you are looking for a written statement of the terms under which the (broad mandate of the dealing with the past mapping will take place. To complete the basic ISDIAH mechanism) form, the project team will schedule an interview with the person designated as the archival contact in the office →→ Precisely explain the aspects of confidentiality whose records are to be mapped. During that meeting, →→ Respond to all questions the team will arrange for the subsequent visit(s) to work with the archives and complete the ISAD(G) descriptions. →→ Conduct the interview according to the question- naire / the form →→ Always remain flexible but clear concerning the mandate and the limits of the mapping project 18 19 Mapping Mapping

→→ While it is important to be transparent, being flexible computer databases) and the steps required to in the language used to present the project can help locate a file identified by the finding aids to avoid shocking the contacted organizations (e.g., →→ Clearly name the contact person and their contact in a first step, addressing the mapping of archives in information in the form (including mobile number and general instead of directly referring to documents email address) related to human rights violations) →→ Leave a card with a phone number of the person who →→ Stay transparent and precisely explain the role of the conducted the interview project management, which of their questions you are able to respond to and which questions you are →→ Thank the person and discuss providing a copy of the not able to respond to information obtained to the institution whose records were surveyed (transmitting of information, →→ Refer to the framework of mapping as well as to the a follow-up visit, etc.) legal framework and to the mandate of the dealing with the past mechanism 7.7 After the Interview →→ Refer the person to a member of the dealing with the past mechanism who can answer questions the →→ Complete the ISDIAH form and identify open visiting team cannot answer questions still to be answered by the contact →→ Take notes during the interview directly in the →→ Get in touch with the contact person if you have any sheet / questionnaire questions or issues to clarify or to track (for example →→ In addition to the information provided in writing, pay in case the contact person promised additional attention to information transmitted orally. It may ­ material, inventory, etc.) be quite important for the mapping, especially in →→ Analyse and correct notes and finalize the document regard of sensitive documents →→ Enter the details in the database →→ If possible, also take a look inside the archival boxes in order to gain an overview. →→ Add additional documentation received during the meeting or later →→ Identify the bodies of records for survey and completion of ISAD(G) forms →→ Digitize any paper documents created or received, safely encode them with a password and store in a →→ Agree on the time to begin the physical survey and central data file, store the hard copy complete the ISAD(G) forms

→→ Identify the work space where the survey team will 7.8 Survey the Records use the records →→ Agree on whether the survey team can itself take →→ Arrive at the survey location with the necessary records off shelves or out of file cabinets or whether equipment the institution’s staff will do this →→ Determine the order of records to review (e.g., start →→ Discuss the finding aids available to identify records with indexes, start with case files on missing of interest (e.g., registry books, index cards, 20 21 Mapping 8 Monitoring

persons) and how many records the survey team will Surveyors should turn in survey forms quickly and regu­- have in its workspace at one time larly. The project direction needs to review them rapidly for errors or omissions and, if necessary, ask the →→ Request or retrieve the records surveyor to revise the submission while still at the →→ Do not eat, drink or smoke around the records survey location (if possible). →→ Do not mark on or insert any markers in the records The field team could be asked to give weekly reports →→ If the records include photographs, try not to touch on the progress and how long they believe it will take to the picture surface complete the mapping. This is especially useful if the field team is responsible for surveys in a number of institu- →→ When survey form entry completed, return records to tions in its area, such as all NGOs or all army their original location and/or close the electronic file installations. →→ At end of each work day, take all mapping materials out of the work space →→ Respect the daily work times of the office whose records are being surveyed (starting and ending times, lunch hours, holidays)

22 23 9 Compilation of Results

The central staff responsible for the mapping/report should begin to compile the results as soon as the mapping forms are returned.

As part of this work, the central direction should ensure that the descriptions of individual institutions that are a part of a larger organization, such as the municipal offices of the national attorney general, are consistent.

The project team must also decide whether to imme­­- diately share the results with other units/departments of the dealing with the past mechanism or wait to compile more complete results.

Eventually, the dealing with the past mechanism, along with the project team and its advisory board (if it has been established) should decide when and how to make the survey results available to the public and, if used in a legal proceeding, to the lawyers for the defen­- dants.

In the case of the IVD in Tunisia, all the results were included in a rather complex Excel file that contained a number of interlinked sub-folders and was also linked to a larger computer based internal data base.

24 25 About the Authors About swisspeace

Trudy Huskamp Peterson swisspeace is an action-oriented peace research is Chair of the Human Rights Working Group of the institute with headquarters in Bern, Switzerland. It aims International Council on Archives (ICA). She was Acting to prevent the outbreak of violent conflicts and to Archivist of the United States, Archivist of the United enable sustainable conflict transformation. swisspeace Nations High Commissioner for Refugees, Executive sees itself as a centre of excellence and an information Director of Open Society Archives and Open Media Re­- platform in the areas of conflict analysis and peace- search Institute. She has worked with numerous building. We conduct research on the causes of war and governments, national and international organizations, violent conflict, develop tools for early recognition of truth commissions and international tribunals on issues tensions, and formulate conflict mitigation and peace- of archives and dealing with the past. She was the building strategies. swisspeace contributes to infor- archival adviser to the National Police Historical Archive mation exchange and networking on current issues of of Guatemala (Archivo Histórico de la Policia Nacional peace and security policy through its analyses and (AHPN). reports as well as meetings and conferences.

More information: www.trudypeterson.com swisspeace was founded in 1988 as the “Swiss Peace Foundation” with the goal of promoting independent Elisabeth Baumgartner peace research in Switzerland. Today swisspeace joined swisspeace in August 2009. Currently, she is the engages about 40 staff members. Its most important Co-Head of the Dealing with the Past Program at clients include the Swiss Federal Department of Foreign swisspeace. She is a Swiss attorney at law who has Affairs (FDFA) and the Swiss National Science Founda­ previously worked for the International Committee of the ­tion. Its activities are further assisted by contributions Red Cross (ICRC), the University of Lucerne and the from its Support Association. The supreme swisspeace Office of the Prosecutor of the Special Court for Sierra body is the Foundation Council, which is comprised of Leone (SCSL) in Freetown. She teaches international representatives from politics, science, and the govern­ criminal law at the University of Lucerne and was a mem­­­- ­ment. swisspeace is an associated Institute of the ber of the Swiss National Commission for the Pre­vention University of Basel and member of the Swiss Academy of of Torture. She coordinates the project Archives and Humanities and Social Sciences (SAHS). Dealing with the Past. For more information: www.swisspeace.org

26 About the project “Archives and Annexes Dealing with the Past”

The project “Archives and Dealing with the Past” is a Annex I a: mandate by the FDFA which swisspeace implements ­ Application of ISDIAH for Transitional Justice surveys in close coordination with the Swiss Federal Archives. The goal of the project is to make a significant contri- Trudy Huskamp Peterson, 2016-03-29 bution to preserving, securing and making accessible archives and records of past human right violations. The Prepare one ISDIAH for each institutional unit surveyed. project aims at providing a support to governments, For example, if the provisional police have a head­- international organizations and NGOs related to the quarters and six substations, prepare a total of seven protection and management of archives that document ISDIAH forms. human rights violations. It is conceived as a hub and offers a platform of contact between actors in need of 1 IDENTITY AREA support and experts working in this field. 1.1 Identifier For more information: http://archivesproject.swisspeace.ch/ Purpose: To provide a unique numeric or alpha-numeric code identifying the institution with archival holdings.

Rule: Record the numeric or alpha-numeric code identifying the institution with archival holdings in accordance with the relevant international and national standards.

Supplemental rules for transitional justice surveys: 1. Each identifier begins with the postal code for the country; for example, CO for Colombia. Country codes are established by the International Organi- zation for Standardization. To find the ISO country code for your country, go to http://www.iso.org/iso/ en/prods-services/iso3166ma/02iso-3166-code- lists/list-en1.html#sz 2. A code for the institution follows, using a standard format that has been chosen by the survey. For example, a survey could use letters derived from the institution’s name. For example, FGN-FNE-DHDIH for Fiscalia General de la Nacion, Fiscalias Nacionales Expecializadas Derechos Humanos y DIH or JNF for the Julius Nyerere Foundation. A survey could also use a number for each surveyed institution, such as 0018 for the 18th nongovernmental organization 28 surveyed. Or a survey could use a combination of 29 Annexes Annexes

letters and numbers, such as PN 016 for the Policia national or international conventions or rules applied by Nacional in the 16th province. the agency that created the description, including any 3. If the survey covers personal materials instead of or necessary sub elements and/or qualifiers required by in addition to institutional archives, begin the code those conventions or rules. Specify in the Rules and/or for personal materials with the letter P plus the conventions element (5.6.3) which rules have been initials of the creator of the materials or a sequential applied. number. For example, the personal materials of Antonio Perez of Uruguay could be UR-P-AP or Supplemental rules for transitional justice surveys: UR-P-0012. Numbers are preferred because many 1. Record the institution’s name in other official people will have the same initials. languages, if any. 2. For personal materials, record the name of the person 1.2 Authorised form(s) of name with custody of the materials if different from the creator; for example, if a daughter has the papers of Purpose: her mother, record the daughter’s name. If the To create an authorised access point that uniquely person with custody is the creator, do not use 1.3. identifies the institution with archival holdings. 1.4 Other form(s) of name Rule: Record the standardized form of name of the institution Purpose: with archival holdings, adding appropriate qualifiers (for To indicate any other name(s) for the institution with instance dates, place, etc.), if necessary. archival holdings not used elsewhere in the Identity Area. Specify separately in the Rules and/or conventions element (6.3) which set of rules has been applied for this Rule: element. Record any other name(s) by which the institution with archival holdings may be known. This could include other Supplemental rules for transitional justice surveys: forms of the same name, acronyms; other institutional 1. Record the institution’s name in full. names; or changes of name over time, including, if 2. For personal materials, record the name of the possible, relevant dates. person who created the materials. Supplemental rules for transitional justice surveys: 1.3 Parallel form(s) of name 1. Record any previous names for the same institution. If none, do not use 1.4. Purpose: 2. For persons who created the materials, record birth To indicate the various forms in which the Authorised name or married name if different from current form of name of an institution with archival holdings name. If none, do not use 1.4. occurs in other languages or script form(s).

Rule: Record the parallel form(s) of name of the institution 30 with archival holdings in accordance with any relevant 31 Annexes Annexes

1.5 Type of institution with archival holdings postal code, city, province, county or state, country, etc.). Purpose: →→ Indicate any other relevant addresses (for example To identify the type of an institution with archival addresses of other facilities). holdings. →→ Also record the electronic address used by the Rule: institution (for example, the URL of their website). Identify the type of the institution with archival holdings. Supplemental rules for transitional justice surveys: For persons, indicate whether this is a business address Note: or a residence. different consistent systems of criteria can be used and/ or combined to classify institutions with archi­val holdings, 2.2 Telephone, fax, email in accordance with any relevant national or international conventions, rules or controlled vocabularies. Purpose: To provide details necessary to contact the institution Supplemental rules for transitional justice surveys: with archival holdings. Choose one of the following: Rule: →→ Government (specify national, district, or local) Record the telephone, fax, and/or email addresses and →→ Business other electronic tools which can be used to contact and/ or communicate with the institution with archival →→ Religious institution holdings. →→ School (specify government or non-government) Supplemental rules for transitional justice surveys: →→ Political party No additional rules. →→ Non-governmental organization 2.3 Contact persons →→ Family/individual Purpose: 2 CONTACT AREA To provide users with all the information needed to contact members of staff. 2.1 Location and address(es) Rule: Purpose: Record the name, the contact details and the position of To provide all relevant addresses for the institution with the members of staff (first name, surname, area of archival holdings, both physical and electronic. responsibility, email, etc.). This information may relate to the Administrative structure element (3.4). Rule: →→ Record the location(s) for public access to the 32 institution with archival holdings (street address, 33 Annexes Annexes

Supplemental rules for transitional justice surveys: 3.3 Mandates / Sources of authority For persons, use only if the person to contact is different from the person having custody and listed in Purpose: 1.3 above. To indicate the sources of authority for the institution with archival holdings in terms of its powers, functions, 3. DESCRIPTION AREA responsibilities or sphere of activities, including territorial. 3.1 History of the institution with archival holdings Rule: Purpose: Record any document, law, directive or charter which To provide a concise history of the institution with acts as a source of authority for the powers, functions archival holdings. and responsibilities of the institution with archival holdings, together with information on the jurisdiction(s) Rule: and covering dates when the mandate(s) applied or were Record any relevant information about the history of the changed. institution with archival holdings. This element may include information on dates of establishment, changes Supplemental rules for transitional justice surveys: of names, changes of legislative mandates, or of any 1. Record the mandate for the institution. Cite laws, if other sources of authority for the institution with applicable. archival holdings. 2. If the papers held by a person are not those either made or received by the individual, record here the Supplemental rules for transitional justice surveys: means by which the person came into possession of No additional rules. the material, such as “Inherited from XX on YY date” or “Purchased from XX on YY date” or “Given to 3.2 Geographical and cultural context person A by person ZZ on YY date.”

Purpose: 3.4 Administrative structure To provide information about the geographical and cultural context of the institution with archival holdings. Purpose: To represent the current administrative structure of the Rule: institution with archival holdings. Identify the geographical area the institution with archival holdings belongs to. Record any other relevant Rule: information about the cultural context. Describe, in narrative form or using organisational charts, the current administrative structure of the Supplemental rules for transitional justice surveys: institution with archival holdings. Use this element only if the context is not clear from the title of the institution and the description in 3.1 above. Supplemental rules for transitional justice surveys: 1. Provide information for the administrative structure only in the entry for the headquarters (central office). 34 35 Annexes Annexes

2. For a subordinate part of a larger entity, report only Rule: the names of the unit and its immediate superior; for Record information on the building(s) of the institution example, San Carlos sub-station, Alameda Police. with archival holdings (general and architectural characteristics of the building, capacity of storage 3.5 Records management and collecting policies areas, etc). Where possible, provide information which can be used for generating statistics. Purpose: To provide information about the records management Supplemental rules for transitional justice surveys: and collecting policies of the institution with archival 1. For institutions, list each storage or office area holdings. where materials are located. 2. For individuals, state only, “Private house, personal Rule: office,” or “Private house, library,” or “Personal Record information about the records management and office at business.” collecting policies of the institution with archival hold­- ings. Define the scope and nature of material which 3.7 Archival and other holdings the institution with archival holdings accessions. Indicate whether the repository seeks to acquire archival Purpose: materials by transfer, gift, purchase and/or loan. If the To provide a profile of the holdings of the institution. policy includes active survey and/or rescue work, this might be spelt out. Rule: Record a short description of the holdings of the Supplemental rules for transitional justice surveys: institution, describing how and when they were formed. 1. For institutions, describe the records management Provide information on volume of holdings, media practices at headquarters (central office) level, if formats, thematic coverage, etc. See “Addenda” below known. If the institution has a written policy, for guidance on how to establish links to archival indicate whether the survey has obtained a copy in databases and/or detailed descriptions of the holdings. paper or electronic format. If no information, write “No information available.” If the institution says it Supplemental rules for transitional justice surveys: has no records management policy, write “Institution Link here to materials described with ISAD(G) for says it has no records management policy.” transitional justice surveys. 2. For institutions like NGOs that collect information on specific topic, such as information on disappeared 3.8 Finding aids, guides and publications persons, describe the collecting criteria the institution uses. Purpose: To provide a general overview of the published and/or 3.6 Building(s) unpublished finding aids and guides prepared by the institution with archival holdings and any other relevant Purpose: publications. To provide information about the building(s) of the institution with archival holdings. 36 37 Annexes Annexes

Rule: 4.2 Conditions and requirements for access and use →→ Record the title and other pertinent details of the Purpose: published and/or unpublished finding aids and To provide information about the conditions, require- guides prepared by the institution with archival ments and procedures for access to, and use of institu- holdings and of any other relevant publications. tional services. →→ Use ISO 690 Information and documentation – Biblio- graphic references and other national or interna- Rule: tional cataloguing rules. See “Addenda” below for Describe access policies, including any restrictions and/ guidance on how to establish links to online archival or regulations for the use of materials and facilities. catalogues and/or finding aids. Record information about registration, appointments, readers’ tickets, letters of introduction, admission fees, Supplemental rules for transitional justice surveys: etc. Where appropriate, refer to the relevant legislation. If any published and unpublished finding aids have been created by the institution, such as an NGO, cite. Indicate Supplemental rules for transitional justice surveys: if survey has obtained a copy, in paper or electronic Provide for any institution that permits regular access to format. If on line, link here. its materials.

4. ACCESS AREA 4.3 Accessibility

4.1 Opening times Purpose: To provide accessibility information related to the Purpose: institution and its services. To provide information on opening times and dates of annual closures. Rule: Record information about travelling to the institution Rule: and details for users with disabilities, including building Record the opening hours of the institution with archival features, specialised equipment or tools, parking or holdings and annual, seasonal and public holidays, and lifts. any other planned closures. Describe times associated with the availability and/or delivery of services (for Supplemental rules for transitional justice surveys: example, exhibition spaces, reference services, etc.). Provide for any institution that permits regular access to its materials. Supplemental rules for transitional justice surveys: 1. Provide for institutions with regular hours for public 5. SERVICES AREA access. If no public hours, state “No public access.” 2. For institutions or individuals who permit access upon 5.1 Research services request, state “Access available by prior arrangement.” Purpose: To describe the research services provided by the 38 institution with archival holdings. 39 Annexes Annexes

Rule: Rule: Record information about spaces available for public →→ Record information about the onsite services use (permanent or temporary exhibitions, free or provided by the institution with archival holdings charged internet connection, cash machines, cafeterias, such as languages spoken by staff, research and restaurants, shops, etc.). consultation rooms, enquiry services, internal libraries, map, microfiches, audio-visual, computer Supplemental rules for transitional justice surveys: rooms, etc. Do not use. →→ Record as well any relevant information about research services, such as research undertaken by 6. CONTROL AREA the institution with archival holdings, and the fee charge if applicable. 6.1 Description identifier

Supplemental rules for transitional justice surveys: Purpose: Provide for any institution that permits regular access to To identify the description of the institution with archival its materials. holdings uniquely within the context in which it will be used. 5.2 Reproduction services Rule: Purpose: Record a unique description identifier in accordance To provide information about reproduction services. with local and/or national conventions. If the description is to be used internationally, record the code of the Rule: country in which the description was created in accor­ Record information about reproduction services available dance with the latest version of ISO 3166 Codes for the to the public (microfilms, photocopies, photographs, representation of names of countries. Where the creator digitised copies). Specify general conditions and restric­- of the description is an international organisation, give tions to the services including applicable fees and the organisational identifier in place of the country code. publication rules. Supplemental rules for transitional justice surveys: Supplemental rules for transitional justice surveys: Do not use. Provide for any institution that permits regular access to its materials. 6.2 Institution identifier

5.3 Public areas Purpose: To identify the agency(ies) responsible for the Purpose: description. To provide information about areas of the institution availablefor public use. Rule: Record the full authorised form of name(s) of the agency(ies) responsible for creating, modifying or 40 disseminating the description or, alternatively, record a 41 Annexes Annexes

code for the agency in accordance with the national or 6.5 Level of detail international agency code standard. Purpose: Supplemental rules for transitional justice surveys: To indicate whether the description applies a minimal, State “Survey by [name of institution].” partial or a full level of detail.

6.3 Rules and/or conventions used Rule: Record whether the description consists of a minimal, Purpose: partial or full level of detail in accordance with relevant To identify the national or international conventions or international and/or national guidelines and/or rules. rules applied in creating the description. In the absence of national guidelines or rules, minimal descriptions are those that consist only of the three Rule: essential elements of an ISDIAH compliant description Record the names, and where useful the editions or (see 4.7), while full descriptions are those that convey publication dates, of the conventions or rules applied. information for all relevant ISDIAH elements of Specify separately which rules have been applied for description. creating the Authorised form of name. Include reference to any system(s) of dating used to identify dates in this Supplemental rules for transitional justice surveys: description (e.g. ISO 8601). Do not use.

Supplemental rules for transitional justice surveys: 6.6 Dates of creation, revision or deletion State “ISDIAH for transitional justice surveys.” Purpose: 6.4 Status To indicate when this description was created, revised or deleted. Purpose: To indicate the drafting status of the description so that Rule: users can understand the current status of the Record the date the description was created and the description. dates of any revisions to the description. Specify in the Rules and/or conventions element (5.6.3) the system(s) Rule: of dating used, e.g. ISO 8601. Record the current status of the description, indicating whether it is a draft, finalized and/or revised or deleted. Supplemental rules for transitional justice surveys: 1. Enter date created. Use the format year-months- Supplemental rules for transitional justice surveys: day, in accordance with ISO 2014, “Writing of State “Draft,” “Revised,” or “Final.” calendar dates in all numeric form.” 2. Enter all dates of revision, indicating that the date is of a revision. Retain the date(s) of all previous versions. For example, 2016-03-16; rev. 2016-03-29.

42 43 Annexes Annexes

6.7 Language(s) and script(s) Supplemental rules for transitional justice surveys: 1. State name of person completing the survey. For Purpose: revisions made after the description is final, add the To indicate the language(s) and/or script(s) used to name of the reviser but do not delete the name of the create the description of the institution with archival original surveyor. holdings.

Rule: Record the language(s) and/or script(s) of the description. Include the appropriate ISO codes for languages (ISO 639-2 Codes for the representation of names of languages) and/or scripts (ISO 15924 Codes for the representation of names of scripts).

Supplemental rules for transitional justice surveys: Do not use.

6.8 Sources

To indicate the sources consulted in creating the description of the institution with archival holdings.

Rule: Record the sources consulted in establishing the description of the institution with archival holdings.

Supplemental rules for transitional justice surveys: Do not use.

6.9 Maintenance notes

Purpose: To document additional information relating to the creation of and changes to the description.

Rule: Record notes pertinent to the creation and maintenance of the description. For example, the names of persons responsible for creating and/or revising the description may be recorded here. 44 45 Annexes Annexes

Annex I b: 6.6 Dates of creation, revision or deletion Template of ISDIAH for Transitional Justice surveys 6.7 Language(s) and script(s) 6.8 Sources 1 IDENTITY AREA 6.9 Maintenance notes 1.1 Identifier 1.2 Authorized form (s) of name A. LINKING OF THE INSTITUTION DESCRIPTION, 1.3 Parallel form (s) of name FILES, ARCHIVAL HOLDINGS WITH ARCHIVAL 1.4 Other form (s) of name RESOURCES AND PRODUCERS 1.5 Type of institution with archival holdings A.1 Title and identifier of the related archival resource 2 CONTACT AREA A.2 Description of relationship 2.1 Location and address A.3 Dates of relationship 2.2 Telephone, fax, email 2.3 Contact Persons

3 DESCRIPTION AREA 3.1 History of the institution with archival holdings 3.2 Geographical and cultural context 3.3 Mandate / Source of authority 3.4 Administrative structure 3.5 Records management and collecting policies 3.6 Building(s) 3.7 Archival and other holdings 3.8 Finding aids, guides and publications

4 ACCESS AREA 4.1 Opening hours 4.2 Conditions and requirements for use and access 4.3 Accessibility

5 SERVICE AREA 5.1 Research assistance services 5.2 Reproduction services 5.3 Public areas

5 CONTROL AREA 6.1 Description identifier 6.2 Identifier of the institution 6.3 Rules and / or conventions used 6.4 Status 46 6.5 Level of detail 47 Annexes Annexes

Annex II a: websites. Many additional types are possible. The Application of ISAD(G) for Transitional Justice Surveys survey needs to include all these systems.

GENERAL INTERNATIONAL STANDARD ARCHIVAL The Purpose and Rule for each element are those of DESCRIPTION, SECOND EDITION (ISAD(G)) – see also: ISAD(G). Each is followed by a supplemental rule, which ISAD(G) second edition provides additional information for the surveyor.

Trudy Huskamp Peterson, 2016 1. IDENTITY STATEMENT AREA

ISAD(G) descriptions are linked to the ISDIAH describing 1.1 Reference code(s) the institution that has custody of the archives (Annex I). In general, ISAD(G) descriptions will be prepared for Purpose: series of archives. A series is a body of archives that has To identify uniquely the unit of description and to a common filing order (the most usual way to identify a provide a link to the description that represents it. series), a common subject, and/or a common physical format (paper, bound volumes, cassette audio recor­ Rule: dings, etc.). ISAD(G) descriptions may also be created if Record, as necessary for unique identification, the a particularly important file, item, photograph, or unique following elements: material is found. In these cases, it is important to link →→ the country code in accordance with the latest the description to the series of archives of which it is a version of ISO 3166 Codes for the representation of part. names of countries; While some archives to be surveyed will be in filing →→ the repository code in accordance with the national cabinets or boxes with a label, others will be in heaps in repository code standard or other unique location stairwells, in damp basements, and in disgusting identifier; conditions. In these cases, the surveyor will have to →→ a specific local reference code, control number, or make an educated guess about the nature of the other unique identifier. archives. For consistency, call such a mass a series, although it is likely that more than one series will be All three elements must be present for the purpose of found when the materials are sorted. information exchange at the international level. For surveys of electronic records, the surveyors will need Supplemental rules for transitional justice surveys: to obtain assistance and passwords from the institu- 1. Use the ISDIAH code for the repository. Leave a tion’s technical support staff. That staff will have basic space, enter S for a series, F for a file unit or I for a information about the electronic systems in use, and single item. Follow that identifier with a consecutive they will be able to tell you the number of authorized users number. for each system. Government institutions and large Example: CO PN16 S0022 (for Colombia, Policia nongovernment ones usually will have word processing Nacional in Province 16, the 22nd series surveyed) and other desktop applications (whether or not these

records are stored on individual computers or centrally), 48 email (also either individual or central), databases, and 49 Annexes Annexes

2. Blocks of consecutive number can be assigned to the correct spelling after it in brackets. individual surveyors. At the completion of the survey, Example: Personal [Personnel] surveyors must report unused numbers to ensure 4. For heaps of archives, usually paper, that are in no that there is no future confusion as to whether a num-­ apparent order, create a title and indicate that it is ber was used and a survey form should exist. for a disordered body of material. Example: Procurement documents [disordered; 1.2 Title additional subjects possible]

Purpose: 1.3 Date(s) To name the unit of description. Purpose: Rules: To identify and record the date(s) of the unit of Provide either a formal title or a concise supplied title in description. accordance with the rules of multilevel description and national conventions. Rules: Record at least one of the following types of dates for If appropriate, abridge a long formal title, but only if this the unit of description, as appropriate to the materials can be done without loss of essential information. and the level of description. For supplied titles, at the higher level, include the name of the creator of the records. At lower levels one may Date(s) when records were accumulated in the trans- include, for example, the name of the author of the action of business or the conduct of affairs; Date(s) document and a term indicating the form of the material when documents were created. This includes the dates comprising the unit of description and, where appro- of copies, editions, or versions of, attachments to, or priate, a phrase reflecting function, activity, subject, originals of items generated prior to their accumulation location, or theme. as records.

Distinguish between formal and supplied titles Identify the type of date(s) given. Other dates may be according to national or language conventions. supplied and identified in accordance with national conventions. Supplemental rules for transitional justice surveys: 1. If the archives being described already have a title, Record as a single date or a range of dates as appro- use it. priate. A range of dates should always be inclusive For example, filing cabinet drawers may say unless the unit of description is a record-keeping system “Estadisticas” or a database may be called (or part thereof) in active use. “Assignments.” 2. When the original title of the unit of description is Supplemental rules for transitional justice surveys: unclear, add clarifying information after it in 1. Dates are written in year-month-day format in brackets. accordance with ISO 2014, “Writing of calendar dates Example: SCU [Serious Crimes Unit] in all-numeric form.” The all numeric form is pre­- 3. If the original title is spelled incorrectly and if the ferable because it is internationally easier to under- 50 correct spelling is necessary for understanding, add stand than numbers for years and words for months. 51 Annexes Annexes

The all-numeric system can be extended to accom- Examples: modate hour and minute, if required to describe radio →→ Series or television broadcasts. →→ File →→ Example: 1998-02-22 →→ Item →→ Example: 1998-02-22-09-12

Supplemental rules for transitional justice surveys: 2. Descriptions of series use only the year or the year- 1. Normally use series. month. Day is included when describing a single item 2. “Item” means the smallest physical entity handled such as a daily publication, a radio broadcast, or a by the user, irrespective of the number of parts of the television program. intellectual contents within the physical entity. For 3. When the dates of creation of one or a small number example, a video tape of a news program will contain of items is significantly outside the range of dates of within it a number of segments, but the ISAD(G) the body of material being described, indicate the description will describe the contents of the tape as break by use of a comma to separate the an entire item. non-sequential items. Example: 1960, 1982-1985 1.5 Extent and medium of the unit of description 4. When there are significant gaps in the series, (quantity, bulk, or size) indicate the break by use of a comma to separate the two span dates. Purpose: Example: 1962–1966, 1970–1971 To identify and describe a) the physical or logical extent 5. When there is a continuous sequence of documents, and b) the medium of the unit of description. but most of them were created between two dates, record the span dates and the predominant dates. Rules: Example: 1973–1985 (predominant 1980–1983) Record the extent of the unit of description by giving the 6. When there is a continuous sequence of documents, number of physical or logical units in Arabic numerals but many dates are missing, list first and last dates and the unit of measurement. Give the specific medium and indicate gaps. (media) of the unit of description. Example: 1962–1985 (with gaps) Alternatively, give the linear shelf space or cubic storage 1.4 Level of description space of the unit of description. If the statement of extent for a unit of description is given in linear terms Purpose: and additional information is desirable, add the To identify the level of arrangement of the unit of additional information in parentheses. description. Optionally, where the unit of description is a record- Rule: keeping system (or part thereof) in active use, show the Record the level of this unit of description. known extent at a given date and/or the extent in custody. 52 53 Annexes Annexes

Supplemental rules for transitional justice surveys: Rule: 1. The principal measurement is directed to the Record the name of the organization(s) or the indivi­ quantity of material available to the user. Archives dual(s) responsible for the creation, accumulation and are measured from the front of the container (for maintenance of the records in the unit of description. example, a file drawer) to the back of the container. The name should give in the standardized form as 2. Textual (paper) archives are described in metres to prescribed by international or national conventions in the second decimal point. Optionally, the number of accordance with the principles of ISAAR(CPF). boxes or volumes can be indicated in parentheses. Example: 1.30 linear metres paper (64 volumes) Supplemental rules for transitional justice surveys: 3. If the textual records are less than 0.10 metre, add 1. If the series is created by the entire institution the words “less than” and the approximate or actual described in the ISDIAH, do not use this element, number of pages. because the institution will have been described Example: Less than 0.10 linear meters (63 pages) there. For example, NGOs may have only central files. 4. Still photographs described above the item level may 2. Use this element when the series is created by a be described either in number of items or in meters subunit of the entity described in the ISDIAH; for with the approximate or actual number of items. Use example, if this is the ISAD(G) for the chronological the rule in 3 above for indicating quantities of less file of the deputy director of the institution, this than 0.10 linear meters. element would say “deputy director.” 5. Motion pictures, sound, and video productions may 3. If the archives are those of a person, leave this have more than one physical item in a single unique element blank. production. Describe the number of unique produc- tions first and the number of reels following in 2.2 Administrative / Biographical history parentheses. Example: 1 motion picture (6 reels) Purpose: 6. Electronic records will be described by number of To provide an administrative history of, or biographical electronic files, with the number of kilobytes, mega­- details on, the creator (or creators) of the unit of bytes or gigabytes in parentheses. description to place the material in context and make it Example: 5 electronic files (20 MG) better understood.

2. CONTEXT AREA Rules: Record concisely any significant information on the [Some of the information in this area, i.e., the name of origin, progress, development and work of the organi- the creator(s) and the administrative/biographical zation (or organizations) or on the life and work of the history may, in certain applications, be accommodated individual (or individuals) responsible for the creation of in linked authority files.] the unit of description. If additional information is avai­­l- able in a published source, cite the source. 2.1 Name of creator(s) The Information Areas of ISAAR(CPF) suggest specific Purpose: informational elements that may be included in this To identify the creator (or creators) of the unit of element. 54 description. 55 Annexes Annexes

For persons or families record information such as full Rule: names and titles, dates of birth and death, place of Record the source from which the unit of description birth, successive places of domicile, activities, occu­­ was acquired and the date and/or method of acquisition pation or offices, original and any other names, sig­nificant if any or all of this information is not confidential. If the accomplishments, and place of death. source is unknown, record that information. Optionally, add accession numbers or codes. Supplemental rules for transitional justice surveys: Do not use this element. Supplemental rules for transitional justice surveys: Do not use this element. 2.3 Archival history 3. CONTENT AND STRUCTURE AREA Purpose: To provide information on the history of the unit of 3.1 Scope and content description that is significant for its authenticity, integrity and interpretation. Purpose: To enable users to judge the potential relevance of the Rules: unit of description. Record the successive transfers of ownership, responsi- bility and/or custody of the unit of description and Rule: indicate those actions, such as history of the Give a summary of the scope (such as, time periods, geo­- arrangement, production of contemporary finding aids, graphy) and content, (such as documentary forms, re-use of the records for other purposes or software subject matter, administrative processes) of the unit of migrations, that have contributed to its present description, appropriate to the level of description. structure and arrangement. Give the dates of these actions, insofar as they can be ascertained. If the Supplemental rules for transitional justice surveys: archival history is unknown, record that information. 1. The summary should begin with a statement of the Optionally, when the unit of description is acquired general nature of the records. directly from the creator, do not record an archival 2. Any specific examples or mentions of exceptional history but rather, record this information as the items should normally be at the end of the note. immediate source of acquisition. (See 2.4) Example: Records relating to the establishment the Police Training Academy. Includes copies of the Supplemental rules for transitional justice surveys: Academy’s constitution, correspondence, initial Do not use this element. curriculum plan, job descriptions, and program for the opening ceremony. Of particular interest is the 2.4 Immediate source of acquisition or transfer correspondence relating to the program for literacy training for police recruits. Purpose: To identify the immediate source of acquisition or transfer.

56 57 Annexes Annexes

3.2 Appraisal, destruction and scheduling Rule: information Specify the internal structure, order and/or the system of classification of the unit of description. Note how Purpose: these have been treated by the archivist. For electronic To provide information on any appraisal, destruction and records, record or reference information on system scheduling action. design.

Rules: Alternatively, include any of this information in the Record appraisal, destruction and scheduling actions Scope and Content element (3.3.1) according to national taken on or planned for the unit of description, conventions. especially if they may affect the interpretation of the material. Supplemental rules for transitional justice surveys: 1. This element is used for describing series, not file Where appropriate, record the authority for the action. units or items. 2. Common systems of arrangement are: Supplemental rules for transitional justice surveys: If it →→ Chronological is obvious that archives have been destroyed, note it here. Example: No email before 2014-07-01 →→ Alphabetical →→ Numeric 3.3 Accruals →→ Alpha-numeric Purpose: →→ Geographic To inform the user of foreseen additions to the unit of description. 4. CONDITIONS OF ACCESS AND USE AREA Rule: 4.1 Conditions governing access Indicate if accruals are expected. Where appropriate, give an estimate of their quantity and frequency. Purpose: To provide information on the legal status or other Supplemental rules for transitional justice surveys: regulations that restrict or affect access to the unit of Use either “Open, in use” or “Closed.” description. 3.4 System of arrangement Rule: Specify the law or legal status, contract, regulation or Purpose: policy that affects access to the unit of description. To provide information on the internal structure, the Indicate the extent of the period of closure and the date order and/or the system of classification of the unit of at which the material will open when appropriate. description.

58 59 Annexes Annexes

Supplemental rules for transitional justice surveys: Rule: Indicate whether the archives are security classified. If Record the language(s) and/or script(s) of the materials they are, indicate the highest level of classification. comprising the unit of description.

4.2 Conditions governing reproduction Note any distinctive alphabets, scripts, symbol systems or abbreviations employed. Purpose: To identify any restrictions on reproduction of the unit Optionally, also include the appropriate ISO codes for of description. language(s) (ISO 639-1 and ISO 639- 2: International Standards for Language Codes) or script(s), (ISO 15924: Rule: International Standard for Names of Scripts). Give information about conditions, such as copyright, governing the reproduction of the unit of description Supplemental rules for transitional justice surveys: after access has been provided. If the existence of such 1. The purpose of this element is to alert the user of the conditions is unknown, record this. If there are no languages that are needed to use the materials. conditions, no statement is necessary. 2. Do not attempt to identify every language used in any way in the materials; identify the principal languages Supplemental rules for transitional justice surveys: used. If a language is used in an important single 1. If the survey is of personal materials and the person item, such as an audio recording, but is not regularly retains copyright in the archives, indicate that. used elsewhere in the materials, indicate that 2. For audiovisual materials obtained from sources that language is only in the item. assert copyright, a copyright statement MUST be included. 4.4 Physical characteristics and 3. If an audiovisual item was obtained from a source technical requirements other than the records creator and the copyright status of the external item is unknown, record that Purpose: fact. To provide information about any important physical 4. For audiovisual materials described at the item level, characteristics or technical requirements that affect where the series includes the works of various use of the unit of description. copyright holders, include the copyright description at the item level. Rule: 5. In each copyright statement, include the name and (if Indicate any important physical conditions, such as possible) the address of the copyright holder or the preservation requirements, that affect the use of the unit individual executing the copyright. of description. Note any software and/or hardware required to access the unit of description. 4.3 Language / scripts of material Supplemental rules for transitional justice surveys: Purpose: 1. The purpose here is to indicate to the potential user To identify the language(s), script(s) and symbol systems the physical barriers to research use. It is not the employed in the unit of description. place to create a Condition Assessment Report or a 60 preservation worksheet. 61

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2. If the original items cannot be used but a copy in Rule: another format (such as microfiche or CD-ROM) is If the original of the unit of description is available available, state “ [ ] must be used in lieu of originals.” (either in the institution or elsewhere) record its 3. For technical descriptions of audiovisual materials, location, together with any significant control numbers. provide a link here. Alternatively, note general If the originals no longer exist, or their location is characteristics that affect the use of the materials. unknown, give that information. Example: Open reel audio tape, 7½ in/s 19.05 cm/s. 4. For technical descriptions of electronic records, Supplemental rules for transitional justice surveys: provide a link here. Alternatively, note the software 1. The purpose of this element is to identify originals of required to read the archives. the entire body of records being described, not of Example: 5 ¼ inch floppy disks, WordStar software. particular items within that body. For example, if the institution holds an electrostatic copy of the 4.5 Finding aids personal papers of a former official, and the entire series consists of those copies, enter the information Purpose: on originals. To identify any finding aids to the unit of description. Example: Originals in custody of Human Rights Law Center, University of San Pedro. Rule: 2. If the original paper records were destroyed after Give information about any finding aids that the repos- microfiching, filming, electronic data entry, itory or records creator may have that provide infor- scanning, or other duplication, enter that information mation relating to the context and contents of the unit of here. description. 5.2 Existence and location of copies If appropriate, include information on where to obtain a copy. Purpose: To indicate the existence, location and availability of Supplemental rules for transitional justice surveys: copies of the unit of description. 1. Provide an electronic link to any finding aids here. 2. For any body of archives that serves as a finding aid Rule: to another body of archives (for example, a card index If the copy of the unit of description is available (either in leading a user to paper records), give the ISAD(G) the institution or elsewhere) record its location, together element 1.1 identifier for the finding aid. with any significant control numbers. Supplemental rules for transitional justice surveys: 5. ALLIED MATERIALS AREA 1. This element is not used to describe individual items that are duplicated; use it for series. 5.1 Existence and location of originals 2. Use this element to indicate that copies exist. For example, if a card file has been converted to a Purpose: database and the surveyor is describing the card file, To indicate the existence, location, availability and/or use this element to make reference to the database. destruction of originals where the unit of description 3. Indicate both copies in the institution and copies in 62 consists of copies. other repositories. 63 Annexes Annexes

5.3 Related units of description Supplemental rules for transitional justice surveys: Do not use. Purpose: To identify related units of description. 6. NOTES AREA

Rule: 6.1 Note Record information about units of description in the same repository or elsewhere that are related by Purpose: provenance or other association(s). Use appropriate To provide information that cannot be accommodated in introductory wording and explain the nature of the any of the other areas. relationship. If the related unit of description is a finding aid, use the finding aids element of description (3.4.5) to Rule: make the reference to it. Record specialized or other important information not accommodated by any of the defined elements of Supplemental rules for transitional justice surveys: description. 1. Cite other archives in the institution by 1.1 Reference code number and 1.2 Title. For example, if the Application rules: description is of the card file and it leads to another →→ List the location of the archives at the time of the body of archives, list the ISAD(G) 1.1 reference code survey. For example, “Basement room 2” or for the other body of archives here. “Technology service server.” 2. If this element is used to alert users to materials in another institution, include the name and address of →→ If significant artifacts are found with the archives, the institution; alternatively, include the name of the note that here. institution and provide an electronic link to the →→ If related artifacts are held separately, such as in a description of the other repository, if it is also being police evidence control room, note it here. surveyed. For example, if there is a joint task force by the police and the army, both institutions will have 7. DESCRIPTION CONTROL AREA archives relating to it. 7.1 Archivist’s Note 5.4 Publication note Purpose: Purpose: To explain how the description was prepared and by To identify any publications that are about or are based whom. on the use, study, or analysis of the unit of description. Rule: Rule: Record notes on sources consulted in preparing the Record a citation to, and/or information about a publi- description and who prepared it. cation that is about or based on the use, study, or analysis of the unit of description. Include references to published facsimiles or transcriptions. 64 65 Annexes Annexes

Supplemental rules for transitional justice surveys: Annex II b: 1. List the names of all persons who contributed to the Template of ISAD(G) for Transitional Justice Surveys description. 2. If the description is revised, add the name(s) of the *Required element persons making the revisions. 1 IDENTITY STATEMENT AREA *1.1 Reference code(s) 7.2 Rules or Conventions *1.2 Title *1.3 Date(s) Purpose: *1.4 Level To identify the protocols on which the description is *1.5 Extent and medium based. 2 CONTEXT AREA Rule: 2.1 Name of creator(s) Record the international, national and/or local rules or 2.2 Administrative history [do not use] conventions followed in preparing the description. 2.3 Archival history [do not use] Supplemental rules for transitional justice surveys: 2.4 Source [do not use] State “Application of ISAD(G) for Transitional Justice Survey.” 3 CONTENT AND STRUCTURE AREA *3.1 Scope and content 7.3 Date(s) of descriptions 3.2 Appraisal, destruction, scheduling 3.3 Accruals (open in use/closed) Purpose: 3.4 Arrangement To indicate when this description was prepared and/or revised. Chronological Alphabetical Rule: Numeric Record the date(s) the entry was prepared and/or Alpha-numeric revised. Geographic Other (describe) Supplemental rules for transitional justice surveys: Unarranged Indicate if the entry is a revision. Retain the date(s) of all previous versions. 4. CONDITIONS OF ACCESS AND USE AREA Example: 2003-03-12; rev. 2005-01-25 4.1 Conditions of access 4.2 Conditions of reproduction 4.3 Language/scripts 4.4 Physical characteristics 4.5 Finding aids

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5. ALLIED MATERIALS AREA 5.1 Existence and location of originals 5.2 Existence and location of copies 5.3 Related units of description 5.4 Publication note

6. NOTES AREA *6.1 Note [required for location of archives]

7. DESCRIPTION CONTROL AREA *7.1 Archivist’s note *7.2 Rules or conventions *7.3 Dates of descriptions

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